1. health and fitness
2. exercise

ASX Announcement
11 March 2015
SECTION 708A NOTICE
Lucapa Diamond Company Limited (ASX: LOM) (the Company) advises that it has allotted 24,002,500
fully paid ordinary
dinary shares (Shares) at 20c per share, to sophisticated and professional
ssional investors pursuant
to a $4,800,500 equity placement previously announced on 27 February 2015 (Placement).
The Placement was lead managed by Far East Capital Limited.
The Placement
lacement involved the issue of an attaching one-for-one
one listed option, exercisable at 30c on or
before 29 August 2015, at no additional cost (30c Options). The notice of the meeting
eeting for the purpose of
considering, and if thought appropriate, approving the resolution relating to the proposed issue of
24,002,500 listed 30c Options to the investors who participated in the Placement
lacement will be sent to
shareholders shortly.
As required under section 708A(6)
A(6) of the Corporations Act 2001 (Cth) (Corporations Act), the Company
gives notice that;
(a) The Shares were issued without disclosure under Part 6D.2 of the Corporations Act.
(b) This notice is being given under paragraph 5(e) of section 708A of the Corporations Act.
(c) As at the date of this notice, the Company has complied with the provisions of the Chapter 2M of
the Corporations Act (as they apply to the Company), and section 674 of the Corporations Act.
(d) As at the date of this notice, there
there is no excluded information with respect to the Company for
the purposes of sections 708A(7) and (8) of the Corporations
Corpo
Act.
An Appendix 3B reflecting the revised capital structure following the Placement has been released with
this announcement.
For further information, please contact;
MARK CLEMENTS
COMPANY SECRETARY
T +61 8 9489 9200
Lucapa Diamond Company Limited abn 44 111 501 663 | 34 Bagot Road | Subiaco 6008 | Western Australia
PO Box 298 | West Perth WA 6872 | T +61 8 9489 9200 | F +61 8 9489 9201 | [email protected]
Appendix 3B
New issue announcement
Ru le 2.7,3.1 0 .3,3.1 0 .4,3.1 0 .5
Appen dix 3B
New issue an n oun cem en t,
application forquotation ofaddition al securities
an d agreem en t
In form ation or docu m en ts n ot av ailab le n ow m u st b e giv en to A SX as soon as av ailab le. In form ation an d
docu m en ts giv en toA SX b ecom e A SX’s propertyan d m ayb e m ade pu b lic.
In troduced 0 1 /0 7/96 Origin :A ppen dix 5 A m en ded 0 1 /0 7/98,0 1 /0 9/99,0 1 /0 7/0 0 ,30 /0 9/0 1 ,1 1 /0 3/0 2,0 1 /0 1 /0 3,24/1 0 /0 5,0 1 /0 8/1 2,0 4/0 3/1 3
N am e ofen tity
L u capa Diam on d Com pan yL im ited
A BN
44 1 1 1 50 1 663
W e (th e en tity) giv e A SX th e follow in g in form ation .
Part 1 -All issues
You m u st com plete th e relev an t section s (attach sh eets ifth ere is n ot en ou gh space) .
1
+ Class
of + secu rities issu ed or to Fu llyPaid Ordin arySh ares
b e issu ed
2
N u m b er of + secu rities issu ed or to 24,0 0 2,50 0 Fu llyPaid Ordin arySh ares
b e issu ed (if k n ow n ) or m axim u m
n u m b er w h ich m ayb e issu ed
3
Prin cipal term s of th e + secu rities
(e.g. if option s, exercise price an d
expiry date; if partly paid Fu llyPaid Ordin arySh ares
+ secu rities,th e am ou n t ou tstan din g
an d du e dates for paym en t; if
+ con v ertib le
secu rities,
th e
con v ersion price an d dates for
con v ersion )
+ See ch apter1 9 fordefin ed term s.
0 4/0 3/20 1 3
A ppen dix 3B Page 1
Appendix 3B
New issue announcement
4
Do th e + secu rities ran k equ ally in
all respects from th e + issu e date
w ith an existin g + class of qu oted
+ secu rities?
Th e sh ares w ill ran k equ ally w ith all oth er
issu ed fu llypaid ordin arysh ares
If th e addition al + secu rities don ot
ran k equ ally,please state:
 th e date from w h ich th eydo
 th e exten t to w h ich th ey
participate for th e n ext
div iden d,(in th e case of a tru st,
distrib u tion )
or
in terest
paym en t
 th e exten t tow h ich th eydon ot
ran k equ ally, oth er th an in
relation to th e n ext div iden d,
distrib u tion orin terest paym en t
5
Issu e price orcon sideration
6
Pu rpose ofth e issu e
Issu ed pu rsu an t toth e placem en t as an n ou n ced
(If issu ed as con sideration for th e on 27 Feb ru ary20 1 5.
acqu isition of assets, clearly
iden tifyth ose assets)
6a
Is th e en tityan + eligib le en tityth at Yes
h as ob tain ed secu rity h older
approv al u n derru le 7.1 A ?
$0 .20
If Yes, com plete section s 6b – 6h
in relation to th e + secu rities th e
su b ject of th is A ppen dix 3B, an d
com plyw ith section 6i
6b
Th e date th e secu rity h older 21 M ay20 1 4
resolu tion u n der ru le 7.1 A w as
passed
6c
N u m b er of + secu rities issu ed
w ith ou t secu rity h older approv al
u n derru le 7.1
24,0 0 2,50 0 Fu llypaid ordin arysh ares
6d
N u m b er of + secu rities issu ed w ith
secu rityh older approv al u n der ru le
7.1 A
N il
+ See ch apter1 9 fordefin ed term s.
A ppen dix 3BPage 2
0 4/0 3/20 1 3
Appendix 3B
New issue announcement
6e
N u m b er of + secu rities issu ed w ith N il
secu rityh older approv al u n der ru le
7.3, or an oth er specific secu rity
h older approv al (specify date of
m eetin g)
6f
N u m b er of + secu rities issu ed u n der N il
an exception in ru le 7.2
6g
If + secu rities issu ed u n der ru le N /A
7.1 A , w as issu e price at least 75%
of 1 5 day V W A P as calcu lated
u n der ru le 7.1 A .3? In clu de th e
+ issu e date an d b oth v alu es.
In clu de th e sou rce of th e V W A P
calcu lation .
6h
If + secu rities w ere issu ed u n der N /A
ru le
7.1 A
for
n on -cash
con sideration , state date on w h ich
v alu ation of con sideration w as
released
to A SX
M ark et
A n n ou n cem en ts
6i
Calcu late th e en tity’s rem ain in g
issu e capacity u n der ru le 7.1 an d
ru le 7.1 A – com plete A n n exu re 1
an d release to A SX M ark et
A n n ou n cem en ts
R eferA n n exu re 1
7
+ Issu e
1 1 M arch 20 1 5
dates
N ote: Th e issue date m ay b e prescrib ed b y A SX
(refer toth e defin ition of issue date in ru le 1 9.1 2) .
For exam ple, th e issue date for a pro rata
en titlem en t issue m u st com plyw ith th e applicab le
tim etab le in A ppen dix 7A .
Cross referen ce:item 33 ofA ppen dix 3B.
8
+class
N u m b er
all 20 5,878,1 76
N u m b er an d
of
+secu rities
qu oted on
A SX
(in clu din g th e +secu rities in section
2 ifapplicab le)
1 1 2,0 51 ,451
+Class
Ordin ary
Option s exercisab le at
$0 .30 expirin g
29 A u gu st 20 1 5
+ See ch apter1 9 fordefin ed term s.
0 4/0 3/20 1 3
A ppen dix 3BPage 3
Appendix 3B
New issue announcement
N u m b er
9
10
N u m b er an d +class of all
+secu rities n ot qu oted on A SX
(in clu din g th e +secu rities in section
2 ifapplicab le)
Div iden d policy (in th e case of a
tru st, distrib u tion policy) on th e
in creased capital (in terests)
+Class
N /A
Th e Com pan ydoes n ot h av e a div iden d policy.
Part 2 -Prorata issue
11
Is secu rity
requ ired?
h older
12
Is th e issu e ren ou n ceab le or n on - N /A
ren ou n ceab le?
13
R atio in w h ich th e +secu rities w ill
b e offered
N /A
14
+Class
of +secu rities to w h ich th e
offerrelates
N /A
15
+R ecord
N /A
16
W ill h oldin gs on differen t registers N /A
(or su b registers) b e aggregated for
calcu latin g en titlem en ts?
17
Policy for decidin g en titlem en ts in
relation tofraction s
N /A
18
N am es of cou n tries in w h ich th e
en tityh as secu rityh olders w h ow ill
n ot b e sen t n ew offerdocu m en ts
N /A
date
en titlem en ts
to
approv al
determ in e
N /A
N ote: Secu rity h olders m u st b e told h ow th eir
en titlem en ts are tob e dealt w ith .
Cross referen ce:ru le 7.7.
19
Closin g date for receipt
acceptan ces orren u n ciation s
20
N am es ofan yu n derw riters
of N /A
N /A
+ See ch apter1 9 fordefin ed term s.
A ppen dix 3BPage 4
0 4/0 3/20 1 3
Appendix 3B
New issue announcement
21
A m ou n t of an y u n derw ritin g fee or N /A
com m ission
22
N am es ofan yb rok ers toth e issu e
N /A
23
Fee or com m ission payab le to th e
b rok ertoth e issu e
N /A
24
A m ou n t of an y h an dlin g fee
payab le to b rok ers w h o lodge
acceptan ces or ren u n ciation s on
b eh alfofsecu rityh olders
N /A
25
Ifth e issu e is con tin gen t on secu rity N /A
h olders’ approv al, th e date of th e
m eetin g
26
Date en titlem en t an d acceptan ce
form an d offer docu m en ts w ill b e
sen t toperson s en titled
27
If th e en tityh as issu ed option s,an d N /A
th e term s en title option h olders to
participate on exercise, th e date on
w h ich n otices w ill b e sen t tooption
h olders
28
Date righ ts tradin g w ill b egin (if N /A
applicab le)
29
Date righ ts tradin g w ill en d (if N /A
applicab le)
30
H ow do secu rity h olders sell th eir N /A
en titlem en ts in fu ll th rou gh a
b rok er?
31
H ow dosecu rityh olders sell part of N /A
th eir en titlem en ts th rou gh a b rok er
an d accept forth e b alan ce?
32
H ow dosecu rityh olders dispose of N /A
th eir en titlem en ts (except b y sale
th rou gh a b rok er) ?
33
+I
ssu e
date
N /A
N /A
+ See ch apter1 9 fordefin ed term s.
0 4/0 3/20 1 3
A ppen dix 3BPage 5
Appendix 3B
New issue announcement
Part 3 -Quotation ofsecurities
You n eed on lycom plete th is section ifyou are applyin g for qu otation ofsecu rities
34
Type of +secu rities
(tick on e)
(a)
+Secu rities describ ed
(b )
A ll oth er +secu rities
in Part 1
Exam ple: restricted securities at th e en d of th e escrow ed period, partly paid securities th at b ecom e fu lly paid, em ployee
in cen tiv e sh are securities w h en restriction en ds,securities issued on expiryorcon v ersion ofcon v ertib le securities
En tities th at h av e tick ed b ox 34(a)
Additional securities forming a new class of securities
Tick to in dicate you are prov idin g th e in form ation or
docu m en ts
35
If th e secu rities are equ ity secu rities, th e n am es of th e 20 largest h olders of th e

addition al secu rities,an d th e n u m b er an d percen tage of addition al secu rities h eld b y
+
+
+
+
th ose h olders
36
If th e secu rities are equ ity secu rities, a distrib u tion sch edu le

secu rities settin g ou t th e n u m b erofh olders in th e categories
+
+
+
of th e addition al
1 -1 ,0 0 0
1 ,0 0 1 -5,0 0 0
5,0 0 1 -1 0 ,0 0 0
1 0 ,0 0 1 -1 0 0 ,0 0 0
1 0 0 ,0 0 1 an d ov er
37
A copyofan ytru st deed forth e addition al

+secu rities
En tities th at h av e tick ed b ox 34(b )
38
N u m b er of +secu rities for w h ich
+qu otation is sou gh t
N /A
39
+Class
N /A
of +secu rities for w h ich
qu otation is sou gh t
+ See ch apter1 9 fordefin ed term s.
A ppen dix 3BPage 6
0 4/0 3/20 1 3
Appendix 3B
New issue announcement
40
Doth e +secu rities ran k equ allyin all
respects from th e +issu e date w ith an
existin g +class ofqu oted +secu rities?
N /A
If th e addition al +secu rities do n ot
ran k equ ally,please state:
 th e date from w h ich th eydo
 th e exten t to w h ich th ey
participate for th e n ext div iden d,
(in th e case of a tru st,
distrib u tion ) orin terest paym en t
 th e exten t to w h ich th ey do n ot
ran k equ ally, oth er th an in
relation to th e n ext div iden d,
distrib u tion orin terest paym en t
41
R eason for requ est for qu otation
n ow
N /A
Exam ple: In th e case of restricted securities, en d of
restriction period
(if issu ed u pon con v ersion of
an oth er +secu rity, clearly iden tify
th at oth er +secu rity)
42
N u m b er
N u m b er an d +class of all +secu rities N /A
qu oted on A SX (in clu din g
+secu rities in clau se 38)
+Class
N /A
th e
Quotation agreement
1
+Qu otation
qu ote th e
2
of ou r addition al +secu rities is in A SX’s ab solu te discretion . A SX m ay
an ycon dition s it decides.
+secu rities on
W e w arran t th e follow in g toA SX.

Th e issu e ofth e + secu rities tob e qu oted com plies w ith th e law an d is n ot for
an illegal pu rpose.

Th ere is n oreason w h yth ose + secu rities sh ou ld n ot b e gran ted + qu otation .

A n offer of th e + secu rities for sale w ith in 1 2 m on th s after th eir issu e w ill
n ot requ ire disclosu re u n der section 70 7(3) or section 1 0 1 2C(6) of th e
Corporation s A ct.
N ote:A n en titym ayn eed toob tain appropriate w arran ties from sub scrib ers for th e securities in order tob e ab le togiv e
th is w arran ty

Section 724 or section 1 0 1 6E ofth e Corporation s A ct does n ot applytoan y
application s receiv ed b y u s in relation toan y + secu rities tob e qu oted an d
th at n o-on e h as an y righ t to retu rn an y + secu rities to b e qu oted u n der
+ See ch apter1 9 fordefin ed term s.
0 4/0 3/20 1 3
A ppen dix 3BPage 7
Appendix 3B
New issue announcement
section s 737, 738 or 1 0 1 6F of th e Corporation s A ct at th e tim e th at w e
requ est th at th e + secu rities b e qu oted.

If w e are a tru st, w e w arran t th at n o person h as th e righ t to retu rn th e
+secu rities tob e qu oted u n der section 1 0 1 9Bof th e Corporation s A ct at th e
tim e th at w e requ est th at th e + secu rities b e qu oted.
3
W e w ill in dem n ify A SX to th e fu llest exten t perm itted b y law in respect of an y
claim ,action orexpen se arisin g from orcon n ected w ith an yb reach ofth e w arran ties
in th is agreem en t.
4
W e giv e A SX th e in form ation an d docu m en ts requ ired b y th is form . If an y
in form ation or docu m en t is n ot av ailab le n ow , w e w ill giv e it to A SX b efore
+qu otation of th e +secu rities b egin s. W e ack n ow ledge th at A SX is relyin g on th e
in form ation an d docu m en ts. W e w arran t th at th eyare (w ill b e) tru e an d com plete.
M ark Clem en ts
Com pan ySecretary
1 1 M arch 20 1 5
+ See ch apter1 9 fordefin ed term s.
A ppen dix 3BPage 8
0 4/0 3/20 1 3
Appendix 3B
New issue announcement
Appen dix 3B–An n exure 1
Calculation ofplacem en t capacityun derrule 7.1 an d rule 7.1 A
foreligib le en tities
In troduced 0 1 /0 8/1 2 A m en ded 0 4/0 3/1 3
Part 1
Rule 7.1 – Issues exceeding 15% of capital
Step 1: Calculate “A”, the base figure from which the placement
capacity is calculated
Insert number of fully paid +ordinary
securities on issue 12 months before the
+issue date or date of agreement to issue
3,852,603,212
Add the following:
•
Number of fully paid +ordinary securities
issued in that 12 month period under an
exception in rule 7.2
24 June 2014 and 27 June 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (postconsolidation)
131,133
27 June 2014 Shares issued pursuant to
exercise of options (post consolidation)
83,334
3 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post consolidation)
87,608
3 July 2014 Shares issued pursuant to
exercise of options (post consolidation)
616,212
4 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post-consolidation)
219,289
7 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post-consolidation)
64,558
8 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post-consolidation)
35,834
9 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post-consolidation)
9 July 2014 Shares issued pursuant to
exercise of options (post consolidation)
515,709
197,222
+ See ch apter1 9 fordefin ed term s.
0 4/0 3/20 1 3
A ppen dix 3BPage 9
Appendix 3B
New issue announcement
10 July 2014 and 11 July 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (postconsolidation)
1,362,840
14 July 2014 and 15 July 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
2,241,277
14 July 2014 and 15 July 2014 Shares
issued pursuant to exercise of options
(post consolidation)
1,243,335
15 July 2014 Shares issued pursuant to
exercise of options (post consolidation)
7,954,962
15 July 2014 and 16 July 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
4,926,642
17 July 2014 Shares issued pursuant to
exercise of options (post consolidation)
26,667
17 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post consolidation)
346,846
18 July 2014 Shares issued pursuant to
exercise of options (post consolidation)
633,335
18 July 2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post consolidation)
23,24 and 25 July 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
1,324,604
92,880
28 and 29 July 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
20,923
30 and 31 July 2014, 1 August, 4 August
and 5 August 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
37,968
6, 7 and 8 August 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
99,763
11, 12, 14 and 15 August 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
40,792
22,25,26 and 27 August 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (post
26,550
+ See ch apter1 9 fordefin ed term s.
A ppen dix 3BPage 1 0
0 4/0 3/20 1 3
Appendix 3B
New issue announcement
consolidation)
28 and 29 August 2014 and 1 September
2014 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post consolidation)
1 September 2014 Shares issued pursuant
to exercise of options (post
consolidation)
2,4 and 5 September 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
106,722
50,000
34,408
15,17 and 19 September 2014 Shares
issued pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
42,633
24 and 25 September 2014 and 6 and 7
October 2014 Shares issued pursuant
to exercise of options, pursuant to
Entitlement Issue (post consolidation)
25,593
14 and 22 October 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
6,684
6 and 7 November 2014 Shares issued
pursuant to exercise of options,
pursuant to Entitlement Issue (post
consolidation)
15,001
18 November 2014 Shares issued pursuant
to exercise of options, pursuant to
Entitlement Issue (post consolidation)
1,667
4 December 2014 Shares issued pursuant
to exercise of options, pursuant to
Entitlement Issue (post consolidation)
4,444
13 January 2015 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post consolidation)
1,867
5 February 2015 Shares issued pursuant to
exercise of options, pursuant to
Entitlement Issue (post consolidation)
1,067
•
Number of fully paid +ordinary securities
issued in that 12 month period with
shareholder approval
11 April 2014 Placement (preconsolidation)
•
925,000,000
Number of partly paid +ordinary
securities that became fully paid in that
12 month period
+ See ch apter1 9 fordefin ed term s.
0 4/0 3/20 1 3
A ppen dix 3BPage 1 1
Appendix 3B
New issue announcement
Note:
• Include only ordinary securities here –
other classes of equity securities cannot
be added
• Include here (if applicable) the securities
the subject of the Appendix 3B to which
this form is annexed
• It may be useful to set out issues of
securities on different dates as separate
line items
Subtract the number of fully paid +ordinary
securities cancelled during that 12 month
period
“A”
Nil
4,777,603,212
(pre-consolidation)
181,875,676
(post-consolidation)
Step 2: Calculate 15% of “A”
“B”
0.15
[Note: this value cannot be changed]
Multiply “A” by 0.15
27,281,351
Step 3: Calculate “C”, the amount of placement capacity under rule 7.1
that has already been used
Insert number of +equity securities issued
or agreed to be issued in that 12 month
period not counting those issued:
•
•
•
Under an exception in rule 7.2
Under rule 7.1A
With security holder approval under rule
7.1 or rule 7.4
11 March 2015 Issue of Shares
24,002,500
Note:
• This applies to equity securities, unless
specifically excluded – not just ordinary
securities
• Include here (if applicable) the securities
the subject of the Appendix 3B to which
this form is annexed
• It may be useful to set out issues of
securities on different dates as separate
line items
“C”
24,002,500
+ See ch apter1 9 fordefin ed term s.
A ppen dix 3BPage 1 2
0 4/0 3/20 1 3
Appendix 3B
New issue announcement
Step 4: Subtract “C” from [“A” x “B”] to calculate remaining
placement capacity under rule 7.1
“A” x 0.15
27,281,351
Note: number must be same as shown in
Step 2
Subtract “C”
Note: number must be same as shown in
Step 3
24,002,500
Total [“A” x 0.15] – “C”
3,278,851
[Note: this is the remaining placement
capacity under rule 7.1]
Part 2
Rule 7.1A – Additional placement capacity for eligible entities
Step 1: Calculate “A”, the base figure from which the placement
capacity is calculated
“A”
Note: number must be same as shown in
Step 1 of Part 1
181,875,676
(post-consolidation)
Step 2: Calculate 10% of “A”
“D”
0.10
Note: this value cannot be changed
Multiply “A” by 0.10
18,187,567
(post-consolidation)
Step 3: Calculate “E”, the amount of placement capacity under rule
7.1A that has already been used
Insert number of +equity securities issued
or agreed to be issued in that 12 month
period under rule 7.1A
Notes:
• This applies to equity securities – not
just ordinary securities
• Include here – if applicable – the
securities the subject of the Appendix
3B to which this form is annexed
• Do not include equity securities issued
under rule 7.1 (they must be dealt with
in Part 1), or for which specific security
holder approval has been obtained
• It may be useful to set out issues of
securities on different dates as separate
+ See ch apter1 9 fordefin ed term s.
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Appendix 3B
New issue announcement
line items
“E”
Nil
Step 4: Subtract “E” from [“A” x “D”] to calculate remaining
placement capacity under rule 7.1A
“A” x 0.10
18,187,567
Note: number must be same as shown in
Step 2
Subtract “E”
Nil
Note: number must be same as shown in
Step 3
Total [“A” x 0.10] – “E”
18,187,567
(post-consolidation)
Note: this is the remaining placement
capacity under rule 7.1A
+ See ch apter1 9 fordefin ed term s.
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